Order Code RL31492
Report for Congress
Received through the CRS Web
Homeland Security: Management Positions
for the Proposed Department
Updated November 15, 2002
Henry B. Hogue
Analyst in American National Government
Government and Finance Division
Congressional Research Service ˜ The Library of Congress

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Homeland Security: Management Positions
for the Proposed Department
Summary
The House has passed H.R. 5710, which would create an executive department
to address the national need for homeland security. The Senate is considering an
identical measure in the form of an amendment to H.R. 5005. The proposal would
transfer organizational units, functions, and personnel from several departments and
agencies and also create new organizational entities.
A hierarchy of positions would be established to manage the department and its
activities. Some would be newly created, and some would be drawn from those
transferring agencies. This report analyzes the proposals in light of the provisions
for appointment of that managerial hierarchy. It identifies the positions that would
be created or transferred, existing units that would be transferred, new units that
would be created, and provisions affecting the transfer of existing positions and the
temporary filling of new positions. Potential problems are identified and options for
congressional consideration are discussed.

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Contents
Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1
The Departmental Framework for Political Appointments . . . . . . . . . . . . . . . . . . 1
Compensation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3
Management Provisions for the Proposed Department . . . . . . . . . . . . . . . . . . . . . 3
Secretary . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3
Deputy Secretary . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4
Under Secretaries . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4
Assistant Secretaries . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4
Other Proposed Presidentially Appointed Positions Requiring
Senate Confirmation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5
Inspector General . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5
General Counsel . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6
Commandant of the Coast Guard . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6
Commissioner of Customs . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6
Director, Office for Domestic Preparedness . . . . . . . . . . . . . . . . . . . . . 6
Other Proposed Presidentially Appointed Positions Not Requiring
Senate Confirmation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7
Chief Financial Officer . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7
Officer for Civil Rights and Civil Liberties . . . . . . . . . . . . . . . . . . . . . . 7
Chief Information Officer . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7
Chief Human Capital Officer . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8
Director of the Secret Service . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8
Executive Secretary . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8
Other Positions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8
Agencies Proposed to Be Transferred . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11
New Units Proposed . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17
Cross-Agency Provisions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 19
Transitional Provisions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 19
Discussion and Options . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 20
Conclusion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 21

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Homeland Security: Management Positions
for the Proposed Department
Introduction
The principal legislation for organizing to prevent and respond to domestic
terrorism calls for the creation of a new department in the federal executive branch.1
H.R. 5710, passed by the House of Representatives, would create a Department of
Homeland Security. The Senate is considering an identical measure in the form of
an amendment to H.R. 5005.2 The proposal calls for a new structure, rather than the
reorganization of an existing administrative entity, and it includes statutory
provisions for staffing the top echelons of management within the new organization.
H.R. 5710 would transfer a number of existing organizational units and functions and
would also create a number of new units.
The Constitution and existing statutes provide a discernable framework for
departmental appointments and pay levels, which is described below. Following a
discussion of this framework, this report identifies the provisions of the proposal that
would create positions in the new department, and it provides an analysis of the
provisions within this context. The report identifies units proposed for transfer, as
well as those proposed to be created. The provisions affecting the transfer of existing
positions and the temporary filling of new positions are discussed.
H.R. 5710 deviates in some ways from the existing appointments framework.
These differences and problems that may result are identified throughout the report.
At the end, options for congressional consideration are explored.
The Departmental Framework for
Political Appointments
The President and the Senate share the power to appoint the principal officers
of the United States, an arrangement established by the Constitution:
1For overview of the departmental proposals, see “Department of Homeland Security,” by
Harold C. Relyea, in the CRS Electronic Briefing Book on Terrorism, available at
[http://www.congress.gov/brbk/html/ebter220.html]; and CRS Issue Brief IB93026,
Executive Branch Reorganization and Management Initiatives, by Harold C. Relyea.
2H.R. 5710, “To establish the Department of Homeland Security, and for other purposes,”
was introduced November12, 2002, by Rep. Richard K. Armey with 9 cosponsors. It was
passed by the House on November 13, 2002. All discussions of the provisions of the
proposal refer to H.R. 5710, as passed.

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... he shall nominate, and by and with the Advice and Consent of the Senate, shall
appoint Ambassadors, other public Ministers and Consuls, Judges of the supreme
Court, and all other Officers of the United States, whose Appointments are not
herein otherwise provided for, and which shall be established by Law ... (Article
II, sec. 2, cl. 2)
The provision also empowers Congress to allow for the appointment of “inferior
Officers” by the President alone, the courts, or department heads. The distinction
between principal and lower offices has been statutorily defined with the creation of
each new office, and Congress has the ability to further refine this definition when
shaping legislation.
The principal officers in a department are established in the organic legislation
or reorganization plan.3 Currently more than 1,200 presidentially appointed civilian
executive or legislative branch positions require Senate confirmation (PAS
positions).4 More than 330 of these are in the 14 existing executive departments.
Within the departments, the first four levels — secretary, deputy secretary, under
secretary, and assistant secretary — are nearly always PAS positions. Some staff
officers, including the chief financial officer and the general counsel, are also
routinely subject to confirmation. The persons filling those positions are generally
considered to be the top policy decision makers in the federal government, having the
responsibility to implement statutes.
Some executive branch positions are staffed through presidential appointments
not requiring confirmation (PA positions). Those positions are rare in operational
agencies; they are generally found in the White House Office and filled by persons
who directly staff and advise the President. There are rare instances in which a
position is placed at an executive level but is exempted by statute from a
confirmation requirement.
In addition to PAS and PA positions, two types of non-presidential
appointments are used to staff most other policy-making positions in the departments.
The ranks of program managers are most commonly filled by career and noncareer
members of the Senior Executive Service (SES). The number of noncareer SES is
statutorily limited to 10% throughout the government and 25% of total SES within
any given department or agency.5
Schedule C positions are used to fill lower-level positions that are excepted
from the competitive service because of their confidential or policy-determining
3For information on the appointment status of presidential appointments requiring Senate
confirmation (PAS positions) within the executive departments currently, see CRS Report
RL31346, Presidential Appointments to Full-Time Positions in Executive Departments
During the 107th Congress, 2001-2002, by Henry B. Hogue.
4U.S. Congress, Senate, Committee on Governmental Affairs, Policy and Supporting
Positions, 106th Cong., 2nd sess., Committee Print, S. Prt. 106-54, Nov. 8, 2000 (Washington:
GPO, 2000). Hereafter referred to as Plum Book 2000.
55 U.S.C. 3134.

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character. Most Schedule C positions are paid at rates on the General Schedule6 but
are excepted from civil service requirements. For example, the personal secretary or
executive assistant to a departmental secretary would serve in a Schedule C position.
The Office of Personnel Management is responsible for approving these positions.
Compensation
Senior-level appointees are generally compensated according to the Executive
Schedule, which has five pay levels. The correspondence between rank and level is
fairly consistent across the existing departments. Level I is often referred to as
Cabinet rank, and is generally accorded to departmental secretaries. Level II, usually
that of deputy secretaries, is the rate corresponding to the salary for Members of
Congress and for U.S. District Judges. Pay rates range from $121,600 to $166,700.7
Almost without exception, statutory positions on the Executive Schedule are
positions requiring confirmation.
The current compensation package for the recently created position of Under
Secretary of Transportation Security, head of the Transportation Security
Administration (TSA), is a noteworthy exception to these compensation
arrangements. This under secretary, a PAS position with a five-year term, is
compensated at Executive Level II. In addition, in a departure from usual practice,
the position carries with it statutory provision for an annual bonus not to exceed 30%
of the annual rate of pay.8 If that bonus were applied, the aggregate pay for the under
secretary would be $195,000 in 2002.9 H.R. 5710 contains no similar provision.
Management Provisions for the
Proposed Department
Secretary
H.R. 5710 would establish the position of Secretary as the head of the new
department. The Secretary would be a PAS position, compensated at Level I of the
Executive Schedule.10 The bill provides that the Secretary would have direction,
authority, and control over the department. All functions of all officers, employees,
and organizational units of the department would be vested in the Secretary. Specific
functional authorities are detailed, including delegation of authority, coordination
with non-federal entities, and promulgation of regulations. The bill would provide
6The General Schedule is the pay and classification system for the majority of the rank and
file white collar staff of the federal government. Pay rates are found through the Office of
Personnel Management Website at [http://www.opm.gov/oca/payrates/index.htm].
7Executive Schedule positions are listed at 5 U.S.C. 5312-5316.
8P.L. 107-71, Sec. 101(c)(1) and (2); Nov. 19, 2001; 115 Stat. 602.
9The salary for the Vice President, the Speaker of the House of Representatives, and the
Chief Justice of the United States is projected to be $198,600, effective January 2003.
10H.R. 5710, Sec. 102(a) and Sec. 1702.

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CRS-4
that the Secretary may, at the direction of the President, be part of National Security
Council meetings.
Deputy Secretary
The proposal would establish the position of deputy secretary as a PAS position,
compensated at Level II of the Executive Schedule.11 The deputy secretary would be
the first in line of succession to act on behalf of the Secretary.
Under Secretaries
H.R. 5710 would establish five under secretary positions. The under secretaries
are as follows: for Information Analysis and Infrastructure Protection, for Science
and Technology; for Border and Transportation Security, for Emergency
Preparedness and Response; and for Management.12 All the under secretary positions
would be PAS positions compensated at Level III of the Executive Schedule.13 The
bill would also create the position of Director of the Bureau of Citizenship and
Immigration Services, which would be compensated at the same level as the under
secretaries.14
Assistant Secretaries
H.R. 5710 proposes two separate categories of assistant secretaries. The bill
would create up to 12 PAS positions with no specified functions.15 In addition, two
assistant secretary positions with specific responsibilities in the Directorate for
Information Analysis and Infrastructure Protection, and not subject to Senate
confirmation, would be created: Assistant Secretary for Information Analysis and
Assistant Secretary for Infrastructure Protection.16 An additional position, Assistant
Secretary of the Bureau of Border Security, would also be created, but the
appointment authority is not clear.17 It is also unclear whether this position is
intended to be one of the 12 above. All assistant secretaries would be compensated
at Level IV of the Executive Schedule.18
The creation of two or three presidentially appointed assistant secretary
positions not subject to Senate confirmation would be a marked departure from past
11H..R. 5710, Sec. 103(a)(1) and Sec. 1702.
12H.R. 5710, Secs. 103(a)(2), (3), (4), (5), and (7). Titles II, III, IV, V, and VII of the bill
set out the authorities and responsibilities associate with these positions.
13H.R. 5710, Sec. 1702.
14H.R. 5710, Secs. 103(a)(6) and 1702.
15H.R. 5710, Sec. 103(a)(8). Generally, where assistant secretary functions are not specified
in statute, the President specifies functions with each nomination to such a position.
16H.R. 5710, Sec. 201(b).
17H.R. 5710, Sec. 442(a)(2).
18H.R. 5710, Sec. 1702.

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practices in the other departments. PA positions19 are almost all in the White House
Office. It is rare for positions in the executive departments to be designated as PA
positions; nearly all principal officers in these organizations are statutorily designated
as PAS positions. At the current time, as far as it can be determined, there is only
one PA position in the executive departments.20 PA positions are generally made for
personnel who will be working in close proximity to the President and are privy to
the confidential policy discussions conducted by leaders of agencies in the Executive
Office of the President. Appointees to PA positions do not come under the same
scrutiny as nominees to PAS positions. By and large, presidential appointees to PA
positions act as advisers, while those nominated to PAS positions are primarily
policy decision makers who administer programs. The latter group are responsible
for implementing statutes.
The designation of some assistant secretary positions, but not others, as PAS
positions might also challenge the present constitutional framework for political
appointments. As noted above, the Constitution provides that “Officers of the United
States” require confirmation, whereas “inferior Officers” may be appointed by the
President, and others, without Senate approval. In both proposals, some assistant
secretaries would be placed in the former category, and others in the latter category.
The proposals implicitly alter the distinction between principal and lower offices,
dividing one title into two categories.
This creation of assistant secretary positions of different stature also might cause
confusion or disharmony in the new agency. The likely effect of the provisions in
H.R. 5710 would be to create, in a department, a mix of officers sharing the same
title and pay rate, but having significantly different appointment standing.
Other Proposed Presidentially Appointed Positions
Requiring Senate Confirmation
The positions identified in this section would be established as PAS positions
by the proposal.
Inspector General. H.R. 5710 provides for the creation of an inspector
general (IG) position, appointed as provided in Sec. 3(a) of the Inspector General Act
19As of September 2001, the Office of Personnel Management reported 86 full-time and 111
part-time presidential appointees not requiring Senate confirmation,
[http://opm.gov/feddata], with link to “Data from the CPDF.” Visited July 2, 2002.
2042 U.S.C. 284(a) provides that “The Director of the National Cancer Institute shall be
appointed by the President.” The other health institute directors are appointed by the
Secretary of Health and Human Services. All the directors report to the Secretary.
The Plum Book for 2000 erroneously lists four other departmental positions as being
presidential appointments not requiring confirmation. The Assistant Secretary of Defense
for Force Management Policy, the Deputy Secretary of Education, the Deputy Secretary of
Labor, and the Department of Transportation Administrator, Research and Special Programs
Administration, all are statutory positions requiring Senate confirmation.

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of 1978.21 The referenced section of the Inspector General Act provides for the
appointment by and with the advice and consent of the Senate. The bill would place
the IG at Level IV of the Executive Schedule,22 on a par with other departmental
IGs.23 The proposal includes provisions that would give the Secretary greater
authority, direction, and control over the IG, under certain circumstances, than is
provided for in the IG statute. These provisions also include steps to be taken to
notify Congress under such circumstances.24 The bill also specifies new law
enforcement powers for IGs.25
General Counsel. H.R. 5710 would create, as a PAS position, a general
counsel as chief legal officer of the department, to be paid at Level IV of the
Executive Schedule.26 This is consistent with the practice in each of the 14 existing
departments, which have statutory departmental legal counsels, usually referred to
as a general counsel. Those positions are also paid at Level IV of the Executive
Schedule27 and all require confirmation as part of the appointment process.
Commandant of the Coast Guard. H.R. 5710 would establish the position
of Commandant of the Coast Guard to “assist the Secretary in the performance of the
Secretary’s functions, ... appointed as provided in section 44 of title 14, United States
Code, and who [would] report directly to the Secretary.” In addition, the duties of
the commandant would “include those required by section 2 of title 14, United States
Code.”28
Commissioner of Customs. The bill would establish the position of
Commissioner of Customs as a PAS position at the head of the Customs service in
the new department. The position would be compensated at Level III of the
Executive Schedule. The bill explicitly provides that the office holder immediately
prior to the proposed law’s effective date may continue until the appointment of a
new commissioner.29
Director, Office for Domestic Preparedness. An Office for Domestic
Preparedness would be created by H.R. 5710, and the office would be headed by a
presidentially appointed, Senate-confirmed director.30 The compensation for the
position is not specified in the bill.
21H.R. 5710, Sec. 103(b).
22H.R. 5710, Sec. 1702.
235 U.S.C. 5315.
24H.R. 5710, Sec. 811.
25H.R. 5710, Sec. 812.
26H.R. 5710, Secs. 103(a)(9) and 1702.
275 U.S.C. 5315.
28H.R. 5710, Sec. 103(c). An additional subsection providing that the commandant report
directly to the Secretary may be found at Sec. 888(g).
29H.R. 5710, Sec. 411(b).
30H.R. 5710, Sec. 430.

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Other Proposed Presidentially Appointed Positions Not
Requiring Senate Confirmation
The positions identified in this section would be appointed by the President but
would not require Senate confirmation. As noted elsewhere, it is unusual to have this
type of position in an executive department; most leadership positions are either PAS
positions or secretarial appointments.
In addition to the positions identified here, two assistant secretary positions, as
discussed above, would be presidentially appointed without Senate confirmation.
Chief Financial Officer. Under the provisions of the Chief Financial
Officers Act of 1990,31 there are established, in each of the executive departments,
chief financial officers (CFOs). The chief financial officer may be appointed by the
President, with the advice and consent of the Senate, or may be designated by the
President from among agency officials who have been confirmed by the Senate for
another position.32 In a departure from this provision of law, H.R. 5710 would
establish the position of chief financial officer as a PA position in the new
department.33 The CFO would be appointed by the President and compensated at
Level IV, as are the current departmental CFOs but would not require Senate
confirmation. Current law provides that the CFO reports directly to the head of the
agency, in this case the Secretary. Notwithstanding this provision of law, the bill
provides that the CFO would report to the Secretary, or to “another official of the
Department, as the Secretary may direct.”34
Officer for Civil Rights and Civil Liberties. An Officer for Civil Rights
and Civil Liberties would be created, as a PA position, by the proposal.35 This officer
would be compensated at Level IV of the Executive Schedule.36
Chief Information Officer. Chapter 35 of Title 44 of the U.S. Code sets out
the requirements for the coordination of federal information policy. Under 44 U.S.C.
3506, each agency head is directed to designate a chief information officer. The
CIOs are to be paid at Level IV of the Executive Schedule and to report directly to
the agency head (secretary).37 H.R. 5710 would create the CIO as a PA position, to
be compensated at Level IV of the Executive Schedule.38 The CIO would be required
31P.L. 101-576, Nov. 15, 1990, Sec. 205.
3231 U.S.C. 901(a)(1).
33H.R. 5710, Sec. 103(d)(4).
34H.R. 5710, Sec. 702.
35H.R. Sec. 103(d)(5). Responsibilities of the officer are described in Sec. 705.
36H.R. 5710, Sec. 1702
37P.L. 104-106; Feb. 10, 1996; 110 Stat. 684-686.
38H.R. 5710, Secs. 103(d)(2) and 1702.

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to report to the Secretary or to “another official of the Department as the Secretary
may direct.”39
The provisions creating this new office are unusual among provisions that
establish high-level positions generally. As noted above in the discussion of assistant
secretary positions, the creation of a PA position in a department is very unusual.
This is as true for CIOs as other officers. In addition, changing the status of
appointment for one CIO could affect the CIO Council.40
Chief Human Capital Officer. H.R. 5710 would create a Chief Human
Capital Officer as a PA position in the new department.41 Compensation for this
position is not specified. The proposal would also create similar positions in other
federal departments and agencies. (See “Cross-Agency Positions,” below.)
Director of the Secret Service. The bill would establish the Director of the
Secret Service as a PA position in the new department.42 At present, the Director of
the Secret Service is appointed by the Secretary of the Treasury. The six most recent
directors have been career members of the Senior Executive Service chosen from on-
board staff.43 Compensation for the position is not specified.
Executive Secretary. A Homeland Security Council would be created by
H.R. 5710, and the council staff would be led by an executive secretary appointed by
the President without Senate confirmation.44 The bill would require this officer to
be a civilian. The pay for this position would be set by the President “at a rate not
to exceed the rate of pay payable to the Executive Secretary of the National Security
Council.”
Other Positions
H.R. 5710 would create additional positions not identified in one of the above
categories. These positions are include in Table 1 below, which identifies all
positions created by the bill. The last entry in the table identifies one position that
would be created in the Department of Justice. All other entries refer to positions in
the new department.
39H.R. 5710, Sec. 703.
40The Chief Information Officer Council was established under Executive Order 13011,
“Federal Information Technology,” July 16, 1996. S. 803, as passed the Senate June 27,
2002, would establish a statutory authority for the Chief Information Officer Council.
41H.R. 5710, Sec. 103(d)(3). Responsibilities of the Chief Human Capital Officer are
described in Sec. 704.
42H.R. 5710, Sec. 103(d)(1)
43Information received from U.S. Secret Service, Office of Government Liaison and Public
Affairs, via telephone conversation, July 3, 2002.
44H.R. 5710, Sec. 905.

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Table 1. Positions That Would Be Created by H.R. 5710
Appointment
Section
Position
Authority
Compensationa
102(a)
Secretary
PAS position
Level I
102(f)
Special Assistant to the
Secretary
not specified
Secretary
Appointment
(n.s.)
103(a)(1)
Deputy Secretary
PAS position
Level II
103(a)(2)
Under Secretary for Information
PAS position
Level III
Analysis and Infrastructure
Protection
103(a)(3)
Under Secretary for Science and
PAS position
Level III
Technology
103(a)(4)
Under Secretary for Border and
PAS position
Level III
Transportation Security
103(a)(5)
Under Secretary for Emergency
PAS position
Level III
Preparedness and Response
103(a)(7)
Under Secretary for
PAS position
Level III
Management
103(a)(6)
Director of the Bureau of
PAS position
Level III
Citizenship and Immigration
Services
103(a)(8)
Up to 12 Assistant Secretaries
PAS positions
Level IV
103(a)(9)
General Counsel
PAS position
Level IV
103(b)
Inspector General
PAS position
Level IV
103(c)
Commandant, United States
PAS position with grade of admiral
Coast Guard
while serving (14 U.S.C. 44)
103(e)(1)
Director, United States Secret
PA position
n.s.
Service
103(e)(2)
Chief Information Officer
PA position
Level IV
and 703
103(e)(3)
Chief Human Capital Officer
PA position
n.s.
and 704
103(e)(4)
Chief Financial Officer
PA position
Level IV
and 702
103(e)(5)
Officer for Civil Rights and
PA position
Level IV
and 705
Liberties
201(b)(1)
Assistant Secretary for
PA position
Level IV
Information Analysis

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Appointment
Section
Position
Authority
Compensationa
201(b)(2)
Assistant Secretary for
PA position
Level IV
Infrastructure Protection
222
Privacy Officer
Secretary
n.s.
Appointment
307(b)(2)
Director, Homeland Security
Secretary
n.s.
Advanced Research Projects
Appointment
Agency
411
Commissioner of Customs
PAS Position
Level III
430
Director, Office for Domestic
PAS Position
n.s.
Preparedness
442(a)(2)
Assistant Secretary of the
n.s. - May be one
Level IV
Bureau of Border Security
of the 12 asst.
secs. above
442(b)
Chief of Policy and Strategy,
n.s.
n.s.
Bureau of Border Security
442(c)
Legal Advisor to the Assistant
n.s.
n.s.
Secretary of the Bureau of
Border Security
451(a)(2)
Director, Bureau of Citizenship
n.s.
Same level as the
and Immigration Services
Assistant
Secretary of the
Bureau of Border
Security (Level
IV)
451(c)
Chief of Policy and Strategy for
n.s.
n.s.
the Bureau of Citizenship and
Immigration Services
451(d)
Legal Advisor to the Director of
n.s .
n.s.
the Bureau of Citizenship and
Immigration Services
451(e)
Budget Officer for the Bureau of
n.s.
n.s.
Citizenship and Immigration
Services
451(f)
Chief of Office of Citizenship
n.s.
n.s.
452
Citizenship and Immigration
n.s.
n.s.
Services Ombudsman
475
Director of Shared Services
n.s.
n.s.
878
Counternarcotics
Secretary
n.s.
Officerb
Appointment

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Appointment
Section
Position
Authority
Compensationa
879
Director, Office of International
Secretary
n.s.
Affairs
Appointment
882(a)(2)
Director, Office for National
Secretary
n.s.
Capital Region Coordination
Appointment
905
Executive Secretary, Homeland
PA position
“The President is
Security Council
(must be civilian)
authorized to fix
the pay ... at a
rate not to
exceed the rate
of pay payable to
the Executive
Secretary of the
National Security
Council.”
1111
Director, Bureau of Alcohol,
Attorney General
Level III
Tobacco, Firearms and
Appointment
Explosives, Department of
Justice
n.s. - not specified
a Compensation, where provided for, is stipulated either in the section creating the position or in Sec.
1702. Level refers to the level of the Executive Schedule.
b It is unclear whether this is a distinct position.
Agencies Proposed to Be Transferred
Under the provisions of H.R. 5710, a number of entities, including authorities,
functions, personnel, assets, and, as determined to be necessary, obligations or
liabilities are proposed to be transferred into the new department or an existing
department. The proposed transfers are shown in Table 2.

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CRS-12
Table 2. Entities and Functions That Would Be Transferred or
Abolished by H.R. 5710
Section
Unit or function
Proposed
(H.R. 5710)
proposed for transfer
Current location
locationa
201(g)(1)
National Infrastructure
Federal Bureau of
Under Secretary
Protection Center (other
Investigation
for Information
than the Computer
Analysis and
Investigations and
Infrastructure
Operations Section)
Protection
201(g)(2)
National Communications
Department of
Directorate for
System
Defense
Information
Analysis and
Infrastructure
Protection
201(g)(3)
Critical Infrastructure
Department of
Directorate for
Assurance Office
Commerce
Information
Analysis and
Infrastructure
Protection
201(g)(4)
National Infrastructure
Department of
Directorate for
Simulation and Analysis
Energy
Information
Center and the energy
Analysis and
security and assurance and
Infrastructure
activities of the
Protection
department
201(g)(5)
Federal Computer
General Services
Directorate for
Incident Response Center
Administration
Information
Analysis and
Infrastructure
Protection
303(1)(A)
Chemical and biological
Department of
Directorate for
national security and
Energy
Science and
supporting programs and
Technology
activities of the non-
proliferation and
verification research and
development program
303(1)(B)
Nuclear smuggling
Department of
Directorate for
programs and activities
Energy
Science and
within the proliferation
Technology (May
detection program of the
be designated by
non-proliferation and
the President to be
verification research and
transferred or to be
development program
jointly operated by
the secretaries of
the two
departments)

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CRS-13
Section
Unit or function
Proposed
(H.R. 5710)
proposed for transfer
Current location
locationa
303(1)(C)
Nuclear assessment
Department of
Directorate for
program and activities of
Energy
Science and
the assessment, detection,
Technology
and cooperation program
of the international
materials protection and
cooperation program
303(1)(D)
As designated by the
Department of
Directorate for
President, life sciences
Energy
Science and
activities of the biological
Technology
and environmental
research program related
to microbial pathogens
303(1)(E)
Environmental
Department of
Directorate for
Measurements Laboratory
Energy
Science and
Technology
303(1)(F)
Advanced scientific
Department of
Directorate for
computing research
Energy
Science and
program and activities at
Technology
Lawrence Livermore
National Laboratory
303(2)
National Bio-Weapons
Department of
Directorate for
Defense Analysis Centerb
Defense
Science and
Technology
303(3); see
Plum Island Animal
Department of
Directorate for
also 310
Disease Center
Agriculture
Science and
Technology
403(1); see
United States Customs
Department of the
Directorate for
also Title
Service
Treasury
Border and
IV, Subtitle
Transportation
B
Security
403(2); see
Transportation Security
Department of
Directorate for
also 423
Administration
Transportation
Border and
and 424
Transportation
Security
403(3)
Federal Protective Service
General Services
Directorate for
Administration
Border and
Transportation
Security
403(4); see
Federal Law Enforcement
Department of the
Directorate for
also 884
Training Center
Treasury
Border and
Transportation
Security

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CRS-14
Section
Unit or function
Proposed
(H.R. 5710)
proposed for transfer
Current location
locationa
403(5)
Office for Domestic
Office of Justice
Directorate for
Preparedness
Programs,
Border and
Department of
Transportation
Justice
Security
421
Certain agricultural
Department of
Directorate for
import and entry
Agriculture
Border and
inspection functions
Transportation
Security
426
Transportation Security
Department of
Directorate for
Oversight Board
Transportation
Border and
Transportation
Security
441(1)
Border Patrol program
Immigration and
Directorate for
Naturalization
Border and
Service
Transportation
Security
441(2)
Detention and removal
Immigration and
Directorate for
program
Naturalization
Border and
Service
Transportation
Security
441(3)
Intelligence program
Immigration and
Directorate for
Naturalization
Border and
Service
Transportation
Security
441(4)
Investigations program
Immigration and
Directorate for
Naturalization
Border and
Service
Transportation
Security
441(5)
Inspections program
Immigration and
Directorate for
Naturalization
Border and
Service
Transportation
Security
451(b)
Adjudications of
Immigration and
Bureau of
immigrant visa petitions,
Naturalization
Citizenship and
naturalization petitions,
Service
Immigration
and asylum and refugee
Services
applications.
Adjudications performed
at service centers and all
other adjudications
performed by the
Immigration and
Naturalization Service

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CRS-15
Section
Unit or function
Proposed
(H.R. 5710)
proposed for transfer
Current location
locationa
462(a)
Functions “with respect to
Immigration and
Office of Refugee
the care of
Naturalization
Resettlement,
unaccompanied alien
Service
Department of
children that were vested
Health and Human
by stature in, or performed
Services
by , the Commissioner of
Immigration and
Naturalization
471(a)
Immigration and Naturalization Service abolished
503(1)
Federal Emergency
Independent
Directorate of
Management Agency
Agency
Emergency
Preparedness and
Response
503(2)
Integrated Hazard
National Oceanic
Directorate of
Information System
and Atmospheric
Emergency
Administration,
Preparedness and
Department of
Response
Commerce
503(3)
National Domestic
Federal Bureau of
Directorate of
Preparedness Office
Investigation
Emergency
Preparedness and
Response
503(4)
Domestic Emergency
Department of
Directorate of
Support Teams
Justice
Emergency
Preparedness and
Response
503(5)
Office of Emergency
Department of
Directorate of
Preparedness
Health and Human
Emergency
Services
Preparedness and
Response
503(5)
National Disaster Medical
Department of
Directorate of
System
Health and Human
Emergency
Services
Preparedness and
Response
503(5)
Metropolitan Medical
Department of
Directorate of
Response System
Health and Human
Emergency
Services
Preparedness and
Response
503(6)
Strategic National
Department of
Directorate of
Stockpile
Health and Human
Emergency
Services
Preparedness and
Response

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CRS-16
Section
Unit or function
Proposed
(H.R. 5710)
proposed for transfer
Current location
locationa
504
Nuclear Incident
Operates as an organizational unit of the
Response Team
department at the direction of the
Secretary in the event of an actual or
threatened terrorist attack, major disaster,
or other emergency in the U.S.
Otherwise, under the purview of the
Secretary of Energy and the
Administrator of the Environmental
Protection Agency
701(b)(2)
Functions performed in
Statistics Branch,
Directorate for
the Statistics Branch
Office of Policy
Management
pertaining to the programs
and Planning,
transferred by Sections
Immigration and
441 and 451
Naturalization
Service
821
United States Secret
Department of the
Department of
Service
Treasury
Homeland
Security; to be
maintained as a
“distinct entity”
888
United States Coast Guard
Department of
Department of
Transportation
Homeland
Security; to be
maintained as a
“distinct entity”
1111(c)
Many functions of the
Department of the
Department of
Bureau of Alcohol,
Treasury
Justice; to be
Tobacco and Firearmsc
maintained as a
“distinct entity”
a For the purposes of this table, it is assumed that the unit or function would be transferred to the
directorate that would be created under the same title in which the transferring provision is
located, unless the provision specifies otherwise.
b The National Bio-Weapons Defense Analysis Center is established in the Department of Defense by
Sec. 1708, and it is transferred from Defense to the new department by Sec. 303(2).
c The transfer, in Sec. 1111(c) of many functions of the Bureau of Alcohol, Tobacco, and Firearms
from the Department of the Treasury to the Department of Justice would occur in conjunction
with the establishment, in Sec. 1111(a), of the Bureau of Alcohol Tobacco, Firearms, and
Explosives in the Department of Justice.

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CRS-17
New Units Proposed
Under H.R. 5710, new organizational entities would be established, both within
and outside the new department. The proposed new units are identified in Table 3.
Table 3. New Entities That Would Be Created by H.R. 5710a
Section
(H.R. 5710)
Proposed unit
Proposed location
231
Office of Science and Technologyb
National Institute of Justice,
Department of Justice
307(b)(1)
Homeland Security Advanced
Director reports to the Under
Research Projects Agency
Secretary for Science and
Technology
309(g)
Office for National Laboratories
Directorate of Science and
Technology
311
Homeland Security Science and
Department of Homeland
Technology Advisory Committee
Security; members appointed
by Under Secretary for Science
and Technology
312
Homeland Security Institute
Administered as a “separate
entity by the Secretary of
Homeland Security
313
Technology clearinghouse program
Established by the Secretary
acting through the Under
Secretary for Science and
Technology
430
Office for Domestic Preparedness
Directorate of Border and
Transportation Security
442
Bureau of Border Security
Head of bureau to report
directly to Under Secretary for
Border and Transportation
Security
451
Bureau of Citizenship and
Head of bureau to report
Immigration Services
directly to Deputy Secretary of
Homeland Security
451(f)
Office of Citizenship
Bureau of Citizenship and
Immigration Services
452
Citizenship and Immigration
Ombudsman to report directly
Services Ombudsman
to the Deputy Secretary
461(c)
Technology Advisory Committee
To assist the Secretary

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CRS-18
Section
(H.R. 5710)
Proposed unit
Proposed location
801
Office for State and Local
Office of the Secretary of
Government Coordination
Homeland Security
879
Office of International Affairs
Office of the Secretary of
Homeland Security
882
Office for National Capital Region
Office of the Secretary of
Coordination
Homeland Security
885
Joint Interagency Homeland
Established and operated by the
Security Task Force
Secretary of Homeland
Security
901
National Homeland Security
Executive Office of the
Council
President
1111(a)
Bureau of Alcohol, Tobacco,
Department of Justice
Firearms, and Explosivesc
1111(d)
Tax and Trade Bureau
Department of the Treasury
1114
Explosives Training and Research
Bureau of Alcohol, Tobacco,
Facility
Firearms, and Explosives,
Department of Justice
1303
Chief Human Capital Officers
Chaired by the Director of the
Council
Office of Personnel
Management
1708
National Bio-Weapons Defense
Department of Defense
Analysis Centerd
a This table does not include the directorates created in the proposed department
b The Office of Science and Technology would be established in the National Institute of Justice by
Sec. 231. Sec. 234 is entitled “Abolishment of Office of Science and Technology of National Institute
of Justice; Transfer of Functions.” Despite the title, it does not appear to abolish the office created
by Sec. 231. It does, however, provide for the transfer of functions to the office.
c The establishment, in Sec. 1111(a), of the Bureau of Alcohol Tobacco, Firearms, and Explosives in
the Department of Justice would occur in conjunction with transfer, in Sec. 1111(c) of many functions
of the Bureau of Alcohol, Tobacco, and Firearms from the Department of the Treasury to the
Department of Justice.
d The National Bio-Weapons Defense Analysis Center is established in the Department of Defense by
Sec. 1708, and it is transferred from Defense to the new department by Sec. 303(2).

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CRS-19
Cross-Agency Provisions
The proposal would establish chief human capital officers, to be appointed by
the head of each agency, in every agency in which there is a chief financial officer.45
The proposal does not provide for the compensation of these officers. The bill also
would establish a Chief Human Capital Officers Council comprising the Director of
the Office of Personnel Management (OPM) (chair), the Deputy Director for
Management of the Office of Management and Budget (OMB) (vice-chair), the chief
human capital officers of the executive departments, and other individuals as
designated by the OPM Director.46
Transitional Provisions
H.R. 5710 includes several provisions regarding the transition of current
officials and their functions to the new agency.
Assistance to the Secretary. The bill would direct current officials
“having authority over or functions relating to” an agency being transferred to
provide assistance to the new Secretary, as he or she requests.47
Acting Officials. In order to temporarily fill PAS positions while awaiting
confirmation, the President would be able to “designate any officer whose
appointment was required to be made by and with such advice and consent and who
was such an officer immediately before the [Act’s] effective date (and who continues
in office) or immediately before such designation, to act in such office until the same
is filled as provided” in the Act. Such acting officers would be compensated at the
higher of two rates: the one they were paid in their original position or the rate for the
position they are filling temporarily.48 This provision would allow for indefinite
temporary appointments and would give the President greater temporary appointment
power than he now has under the Vacancies Act.49
Reconfirmation of Present Office Holders. H.R. 5710 would provide
that reconfirmation by the Senate would not be required by the Act for “any officer
whose agency is transferred to the Department pursuant to this Act and whose duties
following such transfer are germane to those performed before such transfer.”50 This
language is in the context of providing the authority for acting officials, and it is
unclear whether or not it would apply to permanent appointments.
45H.R. 5710, Sec. 1302.
46H.R. 5710, Sec. 1303.
47H.R. 5710, Sec. 1511(a).
48H.R. 5710, Sec. 1511(c)(1).
49For more information on the Vacancies Act, see CRS Report 98-892, The New Vacancies
Act: Congress Acts to Protect the Senate’s Confirmation Prerogative, by Morton
Rosenberg.
50H.R. 5710, Sec. 1511(c)(2).

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CRS-20
Termination of Positions Not Transferred. Regarding the disposition of
top leadership positions that are not specifically transferred with their agency or
office, H.R. 5710 would provide that
Except as otherwise provided in this Act, whenever all functions vested by law
in any agency have been transferred pursuant to this Act, each position and office
the incumbent of which was authorized to receive compensation at the rates
prescribed for an office or position at level II, III, IV, or V, of the Executive
Schedule, shall terminate.51
Discussion and Options
The House bill, H.R. 5710, would establish a number of principal officers and
other positions for the new department. Congress might consider other options that
might serve to strengthen the proposals administratively and address some of the
uncertainties identified earlier in this report.
Option:
Assure that each position created or transferred has a clearly identified
appointment authority, compensation provision, and organizational
context. Congress may wish to more clearly state its intentions in this area.
Option:
Require confirmation for all assistant secretary positions with general areas
of responsibility to be identified by the President at the time of each
nomination. The Secretary would retain the flexibility within those areas.
Option:
Consider whether as many as 12 assistant secretaries are needed. Congress
may explore the responsibilities and rationale for these positions. It could
create any number of assistant secretary positions, subject to confirmation
and paid at Executive Schedule rates. It could allow the Secretary to name
deputy assistant secretaries to be among the noncareer SES personnel in
the department. This might be a means to avoid the inconsistencies of
appointment status, to avoid having presidential appointees in the
executive departments, and to work within the existing appointments
framework.
Option: Establish the department CFO as a PAS position.
Option:
Establish the CIO position in conformity with 44 U.S.C. 3506 to maintain
uniformity among these position across the departments and within the
CIO Council.
Option:
Change the temporary appointment provision to be consistent with the
Vacancies Act. This might provide the President with flexibility during
the transition period while protecting the Senate’s prerogative.
51H.R. 5710, Sec. 1513.

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CRS-21
Option: Clarify congressional intent by moving the provision
concerning
reconfirmation of existing office holders out of the section on acting
officials or specifying that the provision applies to acting officials only.
Option:
If the intention is to leave some appointment and compensation status
vague, it might be useful to offer relevant discussion in report language.
When a statute is silent, the report language becomes important as
successor secretaries strive to follow congressional intent while
implementing the statute and as successor Congresses conduct oversight.
Conclusion
This legislation to create a Department of Homeland Security is complex and
far-reaching. The intent, certainly, is to effect a strong agenda and organizational
mechanism for homeland security. However, attention to the details of
administrative structure, such as appointment status and process and compensation
designation for top managers, serves to allow departmental management to focus on
the mission of the department.

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